finra

FINRA

2014 News Releases

April 24, 2014   FINRA Board Approves Amendment to Supervision Rule Requiring Firms to Conduct Background Checks on Registration Applicants
April 08, 2014   FINRA Launches Retrospective Rule Review
March 24, 2014   FINRA Fines LPL Financial LLC $950,000 for Supervisory Failures Related to Sales of Alternative Investments
March 18, 2014   FINRA and BATS Order Citigroup Global Markets Inc. to Pay $1.1 Million for Illegal Short Selling In Advance of Five Public Offerings and for Related Supervisory Violations
March 12, 2014   FINRA Fines Triad Advisors and Securities America a Total of $1.2 Million for Consolidated Reporting Violations
March 11, 2014   FINRA Issues New Investor Alert, Bitcoin: More than a Bit Risky
March 10, 2014   FINRA Foundation Study Finds Millennials Struggle Financially
March 06, 2014   FINRA’s Statement on PIABA’s Public Disclosure Study
March 03, 2014   FINRA Foundation Military Spouse Fellowship Application Period Open From March 3 – April 18
February 24, 2014   FINRA Fines Berthel Fisher and Affiliate, Securities Management & Research, $775,000 for Supervisory Failures Related to Sales of Non-Traded REITs and Leveraged and Inverse ETFs
February 13, 2014   FINRA Board Approves Rule Prohibiting Conditioning Settlements of Customer Disputes on a Customer’s Agreement Not to Oppose Expungement
February 06, 2014   BATS Global Markets, FINRA Enter Regulatory Service Agreement
February 05, 2014   FINRA Investor Education Foundation and United Way Worldwide Announce More Than $1.2 Million in Grants to Support Grassroots Financial Education Projects
February 05, 2014   FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures
February 04, 2014   FINRA Foundation Issues Five Dos and Don’ts That Can Help You Achieve Greater Financial Security
January 28, 2014   FINRA Fines Banorte-Ixe Securities $475,000 for Inadequate Anti-Money Laundering Program and for Failing to Register Foreign Finders
January 23, 2014   FINRA Issues New Investor Alert: The IRA Rollover: 10 Tips to Making a Sound Decision
January 16, 2014   FINRA Bars J.P. Morgan Vice President and Broker Friend in Insider Trading Scheme
January 13, 2014   FINRA Investor Education Foundation and the American Library Association Announce $1.19 Million in Grants to Public Libraries to Support Financial Literacy
January 09, 2014   FINRA Orders Stifel, Nicolaus and Century Securities to Pay Fines and Restitution Totaling More Than $1 Million for Unsuitable Sales of Leveraged and Inverse ETFs, and Related Supervisory Deficiencies
January 02, 2014   FINRA Releases 2014 Regulatory and Exam Priorities